Client Segment Risk Conduct, Controls & Governance - Control Design - Vice President

Primary Responsibilities

• Working with senior leaders on the CCG team to further enhance MSWM’s supervisory control framework
• Assessment of the efficiency and effectiveness of existing controls and processes
• Identification of enhancements to controls including AI solutions where appropriate
• Prioritization of control enhancement initiatives
• Implementation of control enhancements
• Coordination with key stakeholders in Technology, Platforms, Legal, Compliance, WM Risk and other groups in furtherance of the design and implementing of control enhancements

Role Focus Areas

• Consideration of regulatory rules, internal policies and best practice guidelines governing controls
• Data analysis to assess the efficiency and effectiveness of legacy supervisory controls
• Identification of opportunities for control enhancements
• Design of enhancements
• Coordination with key stakeholders to align on proposed enhancements
• Presentation to working group and governance committees

Qualifications

• Ten or more years of experience in Risk Management, Legal, Compliance or other roles in the broker-dealer or financial services industry
• Expertise in the supervision of sales practice conduct, product risk and investment risk
• Strong verbal and written communication skills, including presentation experience
• Strong quantitative and analytical skills
• Strong problem-solving and business judgment
• Strong organizational, planning and time management skills
• Ability and willingness to voice ideas, in addition to following instructions
• Ability to lead discussions including with more senior/experienced participants
• High motivation and energy with ability to develop strong working relationships
• A calm demeanor and ability to work on multiple tasks at one time
• Self-starter with a strong attention to detail
• Ability to work well with colleagues across a diverse range of working groups in a fast-paced environment
• Proficiency in MS Office, PowerPoint, Excel, Dataiku, and Tableau
• Bachelor's Degree or equivalent
• Series 7, 66 (or 63 & 65), and 24 (or 9 and 10) preferred